Defendant Name: Brian Williamson

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Brian Williamson, Esq.
First Document Date 19-Feb-2015
Initial Filing Format Administrative Action
File Number 3-15851
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Section 206(4) Advisers Act; Rule 206(4)-8 Advisers Act

Resolutions

Bars:
First Resolution Date 19-Feb-2015

Related Documents:

34-74315 19-Feb-2015 Administrative Proceeding
Order Making Findings, Imposing Remedial Sanctions Pursuant To Rule 102(e)(3), and Terminating Administrative Proceeding

Related Actions:

In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
Oppenheimer Alternative Investment Management, LLC
Oppenheimer Asset Management Inc.
In the Matter of Brian Williamson
Brian Williamson